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StoneRiver RegEd Management Team

Tom Burke

Chairman and Group CEO

Thomas Burke joined StoneRiver Risk and Compliance as Chairman and Group CEO in May 2012. Previously, he was Senior Vice President and CIO at New York Life International (NYLI), where he was responsible for the development and implementation of NYLI’s information technology program across all markets, including strategic and tactical planning, development, evaluation, and coordination of all information and technology systems.

Prior to joining New York Life International, Tom served as Head of Operations and Technology at Citi Global Consumer Investments, where he coordinated and implemented operational and technology solutions across 46 countries. Before that, he held other positions in Citi’s Consumer Business, including Head of Investment and Insurance Technology and Vice President of Operations and Technology.

Tom received a B.A. in Computer Science from Fordham University and an M.B.A. from St. John’s University, both in New York.

Executive Profile

Michael J. Reardon

Chief Financial Officer / Chief Operations Officer

Michael Reardon joined StoneRiver Risk and Compliance Group and RegEd in May 2013 with a broad and diverse background in financial services, and is responsible for overall company operations at RegEd and its subsidiary, Compliance Assurance Corporation.

Before joining StoneRiver-RegEd, Mike was the Chairman and CEO of The Student Loan Corporation, the second largest education finance company in the US. In that capacity, he was responsible for all functional areas of the business. Previously, Mike held progressive positions of responsibility at Citigroup serving as Chief Financial Officer of the Consumer Lending Group and Chief Operating Officer of Citigroup’s Consumer Finance Division. In his prior career, he held executive positions at Salomon Smith Barney and JPMorgan Chase.

Mike holds a B.A. from University of Massachusetts, Amherst, an M.S. from New York University and he completed the Executive Management Program at Duke University Fuqua School of Business.

Executive Profile

John M. Schobel

Chairman and Founder

As a founding member of RegEd, John has worked for more than 15 years to transform RegEd into the market-leading provider of regulatory compliance education and enterprise solutions for the financial services industry. Under his leadership and direction, RegEd ascended from a single-product company into the industry leader, serving more than 600 firms with one million end users.

Beginning in 2000, John worked to expand RegEd beyond its traditional role as the leading provider of continuing education to agents and advisors. Directing a seasoned team of technologists and engaging key clients in the process, RegEd created the Trax product line, an enterprise compliance management platform with integrated compliance workflow, process automation and reporting capabilities critical to maintaining compliance with FINRA rules and regulations. Today, the platform is implemented in almost every mid-sized and major broker dealer in the country. John also led RegEd through the acquisition of CT Insurance Services and the Xchange Licensing and Registration product line, which has since become the industry leading solution.

John’s passions include product management, a truly consultative client engagement process, and, above all, a commitment to client satisfaction. This commitment has given shape to RegEd’s organizational structure, which is client-experience focused and has enabled the company to create strong and lasting client relationships. It has also resulted in a solution-driven sales philosophy, continuous product innovation and a customer service model that has helped earn RegEd a reputation as a creative, responsive market leader that fully understands and responds to its clients’ needs.

John holds a B.A. from New York University and a J.D. from Washington University in Saint Louis. His interests include art and architecture, consumer electronics, innovative software and the promotion of financial literacy for underserved communities.

Executive Profile

Stephanie Buchanan

Executive Vice President, Strategic Client Services

Stephanie joined RegEd in 2000 and has held progressive positions in Account Management, Implementation, Operations and Client Services. With 15 years’ experience at RegEd, Stephanie possesses deep expertise across RegEd’s portfolio of compliance management and Licensing and Registration solutions.

In early 2014, Stephanie assumed executive leadership of RegEd’s Client Services organization, responsible for establishing, building and maintaining strong client relationships. Integral to this achievement is Stephanie’s deep expertise across RegEd’s portfolio of compliance management and Licensing and Registration solutions.

Prior to her current role, Stephanie held the position of SVP, Strategic Client Relationships, responsible for RegEd’s relationships with enterprise clients. In this role Stephanie established and implemented account strategies to better service clients that have implemented multiple RegEd Enterprise Solutions.

Previous to that Stephanie held roles in operations and client implementations, where she established RegEd’s implementation team, created the implementation methodology for RegEd’s Compliance Management solutions suite and was responsible for all new client product implementations and re-implementations for client annual compliance programs.

Stephanie holds a Bachelor of Science, Business Administration from Meredith College, Raleigh, NC. She is an active member of the Securities and Insurance Licensing Association (SILA) and acts as a court appointed volunteer in North Carolina’s Guardian ad Litem Program where she advocates for the best interests of abused and neglected children in courtrooms and communities.

Executive Profile

Margaret S. “Peggy” Fox

General Counsel

Peggy has over 25 years’ experience in the financial services industry in roles that span regulator, compliance officer and legal counsel. She joined RegEd in 1999 and currently serves as General Counsel, handling transactions with customers and vendors, providing counsel and regulatory advice to the executive team and human resources group, and acting in risk management as the chief privacy officer.

Peggy’s deep knowledge of financial services regulation has been deployed by RegEd, in its continuing education courseware, and in the development of the company’s suite of compliance management applications and tools. Prior to RegEd, Peggy was a First Vice President of Compliance at Salomon Smith Barney, providing compliance advice to the firm’s capital markets businesses on SEC and SRO regulations, as well as developing written supervisory procedures and compliance training for many of the firm’s trading desks and business units.

As an Enforcement Director at the New York Stock Exchange as, Peggy and her staff conducted numerous investigations of and prosecutions for violations of NYSE and SEC rules by NYSE member firms and their registered personnel.

Peggy received her B.A. with highest honors from the University of Florida. She also received her J.D. from the University of Florida, and is a member of the Florida Bar. Peggy serves on the Board of Directors of a local school, working with an affiliate of a school-based service-learning organization that funds and executes local and international humanitarian and economic development programs, and is an active fundraiser and committee member for the American Cancer Society Relay for Life.

Executive Profile

Debra Freitag

Chief Strategy Officer

Debra joined RegEd in 2006 upon the acquisition of CT Insurance Services / Xchange, the Wolters Kluwer business she had led since 1999. With more than 20 years’ experience in executive management, business strategy, full-life cycle product management and enterprise sales, Debra has achieved commercial success and strong revenue growth for multiple companies’ technology products and solutions. At RegEd Debra is responsible for strategic planning, strategic marketing and new product and growth initiatives.

Prior to joining RegEd, Debra was General Manager of CT Insurance Services, responsible for product development, product management, sales, relationship management and operations. Over the 7 years as GM, Debra oversaw the division’s growth from organic startup through the acquisition of marquee clients and evolution into the industry’s leading licensing and registration solution, now known as Xchange.

Previous to that she was responsible for the management and growth of a $100+ million product line at CCH Legal Information Services, a division of Wolters Kluwer. She also led two pioneering and highly successful initiatives: a major effort to move key transactional filing and search services to the web, and the firm’s market entrance into insurance compliance, which would become CT Insurance Services. Debra’s early career was focused in software sales and sales management.

Debra holds an MBA from Rutgers Business School, Rutgers University and a Liberal Arts degree from City University of New York. She volunteers her to time to mentor under / unemployed women and also has a passion for mentoring upcoming business talent.

Executive Profile

Brian Lora

Chief Technology Officer / Chief Information Officer

Brian has broad and deep background and experience in technology, product development and systems management. In his role as Chief Technology Officer and Chief Information Officer he is responsible for technology and strategic technology direction; SaaS product development; the SaaS production environment, infrastructure, technology due diligence and information security.

Since joining RegEd in 2011, Brian has overseen and deployed more than 25 successful product releases and new product introductions, including RegEd SCORE™. He has led StoneRiver-RegEd’s technology transformation, encompassing the upgrade of RegEd’s production environment to enable enterprise-grade performance, scalability and security; and the evolution of RegEd’s software development to an iterative process designed to optimize functional capability, performance and security across all product releases.

Prior to joining RegEd, Brian was the lead technologist of Arsenal Digital Solutions, the market leader in software-as-a-service/cloud backup services; Brian’s unique services architecture invention fueled the creation of a new cloud-based services utility business model. Arsenal was acquired by IBM in 2008 and became the cornerstone of IBM’s Cloud Architecture.

Prior to Arsenal Digital, Brian led technology operations at Storability, the leading startup company in its space for SaaS storage and backup solutions. Storability was sold to SUN/StorageTek, now a division of Oracle.

Brian held numerous technical and management roles at Tivoli systems, including development on Tivoli’s System Management products and designed and developed the build-out plan for Tivoli’s development labs and data centers. During Brian’s tenure, Tivoli grew from several hundred to 3,600 employees worldwide and, at the time it was acquired by IBM, was the largest software acquisition in the market to date.

Brian earned his Engineering degree from North Carolina State University. In 2012 Brian was named CIO of Year by the Triangle Business Journal for Transformation & Innovation and, that same year, RegEd was also awarded Best Mid-Size Technology Company by the North Carolina Technology Association (NCTA). Brian lives in Raleigh, North Carolina and enjoys time with his active family and competing in strength athletics in his free time.

Executive Profile

Angela Pace

Chief Regulatory Officer

Angela currently serves as RegEd’s Chief Regulatory Officer. An attorney with deep expertise in financial services regulation, Angela has led RegEd’s Regulatory Affairs department since she joined the company in 2000. In her role as Chief Regulatory Officer, Angela and her team focus on helping RegEd’s clients comply with existing regulation and monitor emerging regulation that will impact the financial services industry.

During her time at RegEd, Angela has held senior management and executive roles focused on building and managing RegEd’s Regulatory Affairs team and establishing regulatory content operations to power RegEd’s rule-driven and content-driven Compliance Management, Licensing and Registration and Compliance Education offerings.

Since 2006, Angela has led RegEd’s Registration and Licensing Services responsible for all facets of RLS outsourcing operations. She also has led several compliance education initiatives at RegEd, successfully growing RegEd’s capability in that area. In 2010 she led RegEd’s initiative to address new annuities training, creating RegEd’s Annuity Training Platform, which is now the industry’s leading site for annuities training and compliance tracking.

Prior to rejoining RegEd in 2000, Angela was a manager with a leading global provider of education to financial services corporations and an attorney. Angela received her J.D. from the Washington University School of Law in St. Louis and her B.A. in Journalism from the University of Missouri – Columbia.

Executive Profile

Jerry Shafran

CEO, Compliance Assurance Corporation,
subsidiary of StoneRiver RegEd, Inc.

Jerry is a successful entrepreneur and technology and product innovation leader with deep experience in startups and over 20 years of experience in the software and financial services industry. Jerry Shafran joined RegEd / StoneRiver Risk and Compliance Group upon its acquisition of Compliance Assurance Corporation in November, 2012 and is responsible for Stone-River CAC product strategy, product development and operations.

Before joining StoneRiver-RegEd, Jerry was CEO at Compliance Assurance Corporation where he innovated the industry’s first Regulatory Change Management software powered by Regulatory Intelligence. Today CODE is the most comprehensive framework for the effective management of regulatory risk. Since the acquisition, under Jerry’s direction, the CODE platform has expanded to address critical insurance compliance applications including Consumer Complaints Management, Deficiencies Management, Market Conduct Exam Management, Policies and Procedures Management and Rate and Form Filings Management.

Previous to CAC, Jerry was President of Pepperweed Consulting, a Premier HP Open View consulting firm, where he was responsible for managing enterprise wide strategic and tactical operations and initiated programs leading to the successful acquisition of Pepperweed by two different entities.

Prior to that Jerry was President and founder of Ceeva, an IT security and network services firm headquartered in Pittsburgh that has received both local and national recognition. Jerry began his career at Cash Flow Design, where he held progressive positions, responsible for initiating, arranging, negotiating, and completing debt/equity financing of mainframe computer purchases by Fortune 5000 companies.

Jerry holds a B.S. from University of Pittsburgh and is an Ernst & Young Entrepreneur of the Year nominee, a PBT Tech 50 award winner (multiple years), and a Pittsburgh 100 award winner (multiple years).

Executive Profile